Robert Alan Lockery Jr
AIF®Professional Summary
Robert Alan Lockery JR, AIF®, who also goes by Robert A Lockery, Robert Alan Lockery, is a registered financial advisor currently at GANIM PRIVATE WEALTH located in Shelton, Connecticut. Robert is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1996. Robert has worked at 12 firms and has passed the Series 66, Series 63, SIE, Series 7, Series 6 and Series 24 exams.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
Robert A Lockery, Robert Alan Lockery
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Videos & Posts
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Contact Information
Direct
(xxx) xxx-xxxx
xxxxx@xxxx.xxx
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Disclosures on record.
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Credentials
Years of Experience
30 years in the financial services industry
Current & Past Employments
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Current Firm
GANIM PRIVATE WEALTH | GFS WEALTH MANAGEMENT ADVISORS, INC. DBA GANIM FINANCIAL | GFS WEALTH MANAGEMENT ADVISORS, INC. | GFS WEALTH MANAGEMENT ADVISORS INC
Contact Information
Main Address
2 Enterprise Drive Suite 305, Shelton, CT 06484Phone Number
(203) 335-0851# of Employees
4SEC notice filing (5 States and Territories)
Registered to provide investment advisory services in 5 US states and territories.
Documents
Regulatory Assets Under Management
Total Number of Accounts
22AUM (Assets Under Management)
$238,639,022Similar Advisors
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Other business activities
Information obtained from regulatory filings. Advisors can request corrections through their firm or regulator.
Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.
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Primary Firm SEC Registration
GANIM PRIVATE WEALTH | GFS WEALTH MANAGEMENT ADVISORS, INC. DBA GANIM FINANCIAL | GFS WEALTH MANAGEMENT ADVISORS, INC. | GFS WEALTH MANAGEMENT ADVISORS INC
State Registrations and Notice Filings
(7/26/2017)
Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
Series 6 — Investment Company Products/Variable Contracts Representative Examination
Passed Mar 1996About the Series 6 examSimilar Advisors
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CRS (Client Relationship Summary) - RIA
Click below to view Robert Alan Lockery JR's CRS (Customer Relationship Summary).
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